AIAG - CQI-9 - Heat Treatment System Assessment

BR_ENTWICKLUNGSKUERZEL_KUNDE Entwicklungskürzel Kunde ?????
TECHDOK_AUSGABEDATUM Ausgabedatum 01.08.2007
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TECHDOK_FORMATGROESSE
Automotive Industry Action Group Formatgröße
TECHDOK_HERAUSGEBER_INSTITUT Herausgeber Institut

DIN A4
AIAG
CQI-9
TECHDOK_MEDIUM Medium Elektronisch
TECHDOK_NUMMER Nummer AIAG CQI-9
TECHDOK_SPRACHE Sprache Englisch

Special Process:Weitergabe
Heat Extern
TECHDOK_WEITERGABE_EXTERN
Treat System
Verboten
Assessment
2"d Edition
AIA
Automotive Industry Action Group
Special Process: Heat Treat System Assessment
CQi-9
Version 2, Issued 8/07
ABOUTAIAG
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© 2007 Automotive Industry Action Group

CQI-9 JDAAfm
Special Process: Heat Treat System Assessment F^Mrl\A.
Version 2, Issued 8/07 Automotive Industry Action Group
M^Mir^§^^fflMm Special Process: Heat Treat System Assessment
Automotive Industry Action Group Version 2, Issued 8/07
FOREWORD
Automotive Industry Action Group (AIAG) committees are made up of volunteers from member
companies in the automotive industiy. The work of preparing process audits is done by AIAG technical
committees.
The main task of technical committees is to prepare Automotive Standards and System Requirements.
Draft documents adopted by the technical committees are circulated to the Steering Committee for review
and consensus approval. Publication of the documents requires approval by the Quality Steering
Committee.
The Quality Steering Committee would like to acknowledge and thank the following individuals and their
companies who have contributed time and effort to the development of this document.
CQI-9 A|A|
Special Process: Heat Treat System Assessment ^%MF%.
ACKNOWLEDGEMENTS
Core Members:
Pete Batche - Robert Bosch LLC
Mel Dilley - DaimlerChrysler Coip.
Curt Holmes - Commercial Steel Treating Corp.
Ed Jamieson - Bodycote Thermal Processing
Medina Kaknjo - Ford Motor Company
Brett Lenhausen - General Motors Corporation
Philip Mikula - TRW Automotive, Inc.
Murli Prasad - General Motors Corporation
Supporting Members:
Todd Bensinger - DaimlerChrysler Corp.
Scott Brodersen - DaimlerChrysler Corp.
Dave Calkins - DaimlerChrysler Corp.
Leonard Gadzinski - Acument Global Technologies North America
Tim Green - BSI Americas, Inc.
Dave Hernacki - Commercial Steel Treating, Corp.
Dean Higdon - Acument Global Technologies North America
Jeff Martin - ZF Friedrichshafen, AG
Mike Oberg - Induction Services, Inc.
Mike Wiezbowski - DaimlerChrysler Corp.
AlAi
CQI-9
TABLE OF CONTENTS
ABOUT AIAG.. 1
FORWORD 3
ACKNOWLEDGEMENTS 4
INTRODUCTION ..6
1 SCOPE ...8
1.1 GENERAL 8
1.2 APPLICATION 8
1.3 REFERENCE 9
2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE 10
3 SPECIAL PROCESS: HEAT TREAT SYSTEM ASSMENT PROCEDURE 11

INSTRUCTIONS FOR COMPLETING THE COVER SHEET 12
SPECIAL PROCESS: HEAT TREAT ASSESSMENT FORMS 18
INSTRUCTIONS FOR COMPLETING THE JOB AUDIT ......37

JOB AUDIT FORMS 38
APPENDIX A - PROCESS TABLES 42

APPENDIX B - GLOSSARY 67
MAINTENANCE REQUEST ..............70
CQI-9
AlAfi
^""™*»^w
INTRODUCTION
General
The work of preparing CQI 9: Special Process: Heat Treat System Assessment (HTSA), Second Edition,
was carried out through the AIAG Heat Treat Work Group. These heat treat requirements are
complementary to customer and product standards.
The HTSA can be used to assess an organization's ability to meet the requirements in this assessment, as
well as customer, regulatory, and the organization's own requirements. The HTSA can also be used
between an organization and its suppliers.
In the HTSA, the word "shall" indicates a requirement for purposes of the self assessment. Failure to
meet the requirements results in an assessment that is either "Not Satisfactory" or "Needs Immediate
Action". The word "should" indicates a recommendation. Where the term "such as" is used, any
suggestions given are for guidance only.
Process Approach
The HTSA supports the automotive process approach as described in ISO/TS 16949:2002.
Heat Treat System Assessment Goals

The goal of the HTSA is the development of a heat treat management system that provides for continual
improvement, emphasizing defect prevention and the reduction of variation and waste in the supply chain.
The HTSA, coupled with an internationally recognized quality management system and applicable
customer-specific requirements, defines the fundamental requirements for heat treat management systems.
The HTSA is intended to provide a common approach to a heat treat management system for automotive
production and service part organizations.
Assessment Process
Ongoing assessments shall be conducted annually, unless otherwise specified by the customer, to re-
examine the continuing compliance with the HTSA. Each assessment shall include a review of the
organization's systems using the HTSA. Successive Job Audits (Section 4.0 of this document) shall
sample parts from different automotive component manufacturers that require compliance to the HTSA
document.
The assessment shall use the process approach to auditing as identified by the requirements of ISO/TS
16949:2002.
AIA
Special Process: Heat Treat System
CQI-9
Assessment
Assessor Qualifications
Assessor(s) shall have the following specific experience to conduct the HEAT TREAT SYSTEM
ASSESSMENT:
1. Be an experienced quality management system (QMS) internal auditor (for example,
ISO/TS 16949:2002, ISO 9001:2000).
2. Assessor shall possess heat treating knowledge. Evidence shall include a minimum of 5
years experience in heat treating or a combination of formal metallurgical education and
heat treating experience totaling a minimum of 5 years.
3. Assessor shall possess knowledge of and be familiar with the application of automotive
quality core tools including statistical process control, measurement systems analysis,
part approval, failure mode and effects analysis, and advanced quality planning.
Note: If more than one assessor is required to meet the above qualifications, the lead
assessor shall be the person meeting the requirements in item #1.
Other Requirements
The organization shall keep records as evidence of compliance to the requirements identified in the HTSA,
as well as all appropriate action plans to address any unsatisfactory ratings. These records shall be readily
available for review by any customer requiring compliance to the requirements within this document.
CQI-9 A|A|
Special Process: Heat Treat System Assessment m^%BM^w
1 SCOPE
1.1 General
This document specifies process requirements for an organization or its suppliers perfomiing applicable
heat treating, who need to:
« demonstrate ability to consistently provide product that meets customer and applicable
regulatory requirements, and
« enhance customer satisfaction through the effective application of the system, including
processes for continual improvement of the system.
The Heat Treat System Assessment is applicable to sites where customer-specified parts for production
and/or service are processed throughout the automotive supply chain.
1.2 Application
All requirements of the HTSA are generic and are intended to be applicable to all organizations
performing the heat treat operations addressed in this document, regardless of type, size, and product.
Note: Process Table E is only applicable to processes affecting the final characteristics of the part.
Five Process Tables have been developed and the appropriate table(s) is to be referenced during the
assessment. The Process Tables are specific to heat treat processes as noted below:
Process Table A - Ferrous
» Carburizing
« Carbonitriding
» Carbon Restoration or Correction
« Neutral Hardening (Quench and Temper)
® Austempering
» Martempering
« Tempering
» Precipitation Hardening - Aging
Process Table B - Ferrous
® Nitriding (Gas)
® Ferritic Nitrocarburizing (Gas or Salt)
Process Table C - Aluminum Heat Treating
Process Table D - Induction Heat Treating - Ferrous
Process Table E - Annealing, Normalizing, and Stress Relieving
® Conformance to CQI-9 is required for all organizations that perform annealing,
normalizing, or stress-relieving to achieve desired final characteristics of the part.
AIAG
CQI-9
Note:
Material producers of primary or raw materials, or any intermediate thermal treating
process step(s) that do not affect the final characteristics of the part are exempt from
conforming to the requirements in CQI-9.
These Process Tables contain requirements for:

1. Process and Test Equipment
2. Pyrometry
3. Process Monitor Frequencies
4. In-Process/Final Test Frequencies
5. Quenchant and Solution Test Frequencies
The Process Tables specify the tolerances of process parameters and the frequencies for checking process
control parameters and parts. The Requirements and Guidance in the HTSA form will notify the assessor
when to refer to the Process Tables.
1.3 Reference
The following standards are referenced in this document. The applicability is limited to the subject matter
referenced.
Standard Ntimlier Standard's Prganizatipn

AMS 2750D Pyrometry SAE Aerospace
www.sae.org
SAEJ415 Definition of Heat Treating SAE International
Terms www.sae.org
SAE J864 Surface Hardness Testing With SAE International
Files www.sae.org
CQI-9 AlAfi
Special Process: Heat Treat System Assessment ffB%MMa^^^
2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE

1. Obtain current copy of CQI-9 Special Process: Heat Treat System Assessment, 2nd edition
from AIAG.
2. Identify all heat treat processes to which CQI-9 Special Process: Heat Treat System
Assessment, 2nd edition applies (see CQI-9, 1.2). Record these processes on the HTSA, Page
1.
3. Complete the HTSA, determining the level of compliance. A minimum of one job audit
(Section 4) shall be performed during each assessment.
4. Address each "Not Satisfactoiy" item and determine corrective action, including root cause
analysis and implementation of the corresponding corrective action(s). The corrective
action(s) shall be completed within 90 days. Records of the corrective action, including
verification, shall be maintained.
5. "Needs Immediate Action" requires immediate containment of suspect product. Address
each "Needs Immediate Action" item and determine corrective action(s), including root cause
analysis and implementation of the corresponding corrective action(s). The corrective
action(s) shall be completed within 90 days. Records of the corrective action, including
verification, shall be maintained.
6. Assessments shall be conducted annually unless otherwise specified by the customer.
10
CQI9
AiAG^fe
w^mMrw^0i ^mmrnrn Special Process: Heat Treat System Assessment
3 SPECIAL PROCESS: HEAT TREAT ASSESSMENT

INSTRUCTION FOR COMPLETING THE COVER SHEET.... 12
COVER SHEET FORM 14
INSTRUCTIONS FOR COMPLETING SECTIONS 1-3 15
SECTION 1: MANAGEMENT RESPONSIBILITY & QUALITY PLANNING 18
SECTION 2: FLOOR AND MATERIAL HANDLING RESPONSIBILITY 25
SECTION 3: EQUIPMENT 31
INSTRUCTIONS FOR COMPLETING THE JOB AUDIT.. ..37
SECTION 4: JOB AUDIT 38
11
CQI-9 A|Aj
Special Process: Heat Treat System Assessment *HMf^»
Instructions for completing the Cover Sheet

1. Facility Name: Name of the facility being assessed.
One form shall be used for each facility. The facility may have several buildings or physical
locations in the same general area. If there is a separate management team (Quality Manager and
Metallurgist) or different management system, then these locations shall be considered as
separate facilities.
2. Address: The street address of the facility being assessed; P.O. Box numbers may be given as
additional information.
3. Phone Number: The phone number of the facility.
If there is no common phone number for the facility, the phone number of the Operations
Manager or Quality Manager shall be used.
4. Fax Number: The fax number of the facility.
5. Number of Heat Treat Employees at this Facility: The number of employees, salaried and
hourly, associated with the heat treat operation at this facility.
6. Captive Heat Treater (Y/N): Enter "Y" if this facility heat treats components for their own
company. Enter "N" if the company does not heat treat any components for their own company.
7. Commercial Heat Treater (Y/N): Enter "Y" if this facility heat treats components for
companies other than their own company. Enter "N" if this facility does not heat treat any
components for other companies.
8. Date of Assessment: Enter the date(s) of the assessment. An alphanumeric format shall be used
to avoid confusion with different numeric formats.
Example: May 3 - 4 , 2006
9. Date of Previous Assessment: List the date of the previous CQI-9 Special Process: Heat Treat
System Assessment of this facility.
10. Type(s) of Thermal Processing at this Facility: Place a checkmark to designate all thermal
process(es) performed at this facility. This information determines the appropriate Process Table
that shall be used during the assessment. Processes not listed on the cover sheet are not part of
the Heat Treat System Assessment.
11. Current Quality Certification(s): The heat treater shall list their current quality certifications,
e.g., ISO/TS 16949:2002, ISO 9001:2000. Certifications may be from 3rd party sources or
customer quality certifications. If customer quality certification is given, then the year of the last
assessment by the customer shall also be given.
12. Date of Re-assessment (if necessary): If "Not Satisfactory" findings were observed from the
original assessment, then the heat treater shall address each item and determine correct action,
including root cause analysis and implementation of the corresponding corrective action(s).
The date of the re-assessment shall be given here, and the appropriate Question(s) from Sections
1 - 4, in the original assessment, shall be modified to reflect that the evidence, relating to the
implementation of the corrective action(s), has been observed. Also, the "Number of Not
Satisfactory Findings" shall be modified as appropriate.
13. Personnel Contacted: List the name(s), title(s), phone number(s), and email address(es), if
available, of the principal participants from the heat treater's organization.
12
CQS 9
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^%m£^W^JL^^EM Special Process: Heat Treat System Assessment
"
14. Auditors/Assessors: List the name(s), Company(ies), phone number(s) and email address(es), if
available, of the auditor/assessor(s).
15. Number of "Not Satisfactory" Findings: Enter the number of "Not Satisfactory" findings
observed during the assessment.
16. Number of "Needs Immediate Action" Findings: Enter the number of "Needs Immediate
Action" findings observed during the assessment.
17. Number of "Fail" Findings in the Job Audit(s): Enter the number of "Fail" findings observed
from the job audit.
13
CQI-9
Assessment AIA<
Facility Name:
Address:
Phone Number: Type(s) of Thermal Processing at this Facility:

Fax Number: Process Table A - Ferrous
Carburizing
Number of Heat Treat Employees at this Facility: Carbonitridinq
Carbon Correction
Captive Heat Treater (YIN): Neutral Hardening
Quench & Temper
Commercial Heat Treater (Y/N): Austempering / Martempering
Tempering
Date of Assessment: Precipitation Hardening /Aging
Date of Previous Assessment:

Process Table B - Ferrous
Nitridinq (Gas)
Ferritic-Nitrocarburizing (Gas or
Salt)
Process Table C - Aluminum

Aluminum Heat Treatment
Process Table D - Ferrous

Induction Heat Treating
Process Table E
Annealing
Normalizing
Stress-Relieving
Current Quality Certification(s):
Date of Re-assessment (if necessary):
Personnel Contacted:
Name: Title: Phone: Email:
Auditors/Assessors
Name: Company: Phone: Email:
Number of "Not Satisfactory" Findings:
Number of "Needs Immediate Action" Findings:
Number of "Fail" Findings in the Job Audit(s):
14
AIA
CQI-9
Instructions for completing Sections 1 - 3

Sections 1 - 3 contain questions and the requirements and guidance for each question. The Sections are:
« Section 1 - Management Responsibility & Quality Planning
o Section 2 - Floor and Material Handling Responsibility
« Section 3 - Equipment
The assessor shall assess the heat treater's compliance to Sections 1 - 3 by comparing the evidence
presented by the heat treater to the requirements listed in the "Requirements and Guidance" column.
NOTE 1: In the "Requirements and Guidance" column, the word "shall" indicates
a requirement and the term "such as" indicates that any suggestions
given are for guidance only.
NOTE 2: The "Requirements and Guidance" column will indicate to the assessor
when the Process Tables are pertinent to the Questions. When the
Process Tables are pertinent to the Question, the assessor shall assess the
heat treater's compliance to the specified section(s) in the Process
Tables.
NOTE 3: If the question is not applicable to the heat treater, then the assessor shall
place a checkmark in the "N/A" Assessment column. If the observed
evidence is in compliance to the question, the assessor shall note the
evidence in the "Objective Evidence" column and place a check mark in
the "Satisfactory" column. If the observed evidence is not in compliance
to the question, then the assessor shall note the non-compliance in the
"Objective Evidence" column and place a check mark in the "Not
Satisfactory" column.
NOTE 4: Where nonconforming product is identified in the assessment of a given
question the assessor shall place a check mark in the "Needs Immediate
Action" (NIA) column. NIA requires immediate containment of suspect
product.
15
CQI-9 AlAj
Special Process: Heat Treat System Assessment M^kMS™%.
General Notes for AMS 2750D

AMS 2750D is referenced in the Pyrometiy Section (Section 2.0) of the Process Tables. Organizations
and suppliers shall comply with the sections of AMS 2750D that reference thermocouples, the calibration
of thermocouples and instrumentation, and the procedure for conducting furnace temperature uniformity
surveys (TUS) see below.
Exceptions to this requirement are listed below in the respective sections.
Thermocouples and Instrumentation
- Section 3.1 - Temperature Sensors (Thermocouples)
™ Section 3.2 - Instrumentation - Note: Frequency reductions per AMS 2750D are
not allowed by CQI-9
Exceptions (Compliance to the following sections are not required by CQI-9)
Section Number Explanation
3.2.5.1 & 2 Temperature controlling instruments purchased prior to
1 year after the release of AMS 2750D are exempt of
3.2.5.1 and 3.2.5.2.
3.2.5.3.1 One point sensor input is acceptable.
3.2.5.5 Sensitivity checks during calibration are not required.
System Accuracy Test (SAT) Procedure (Section 3.4)
- SAT shall be performed by one of the two methods listed below.
- CQI-9 requires either a (1) comparative check of the control temperature sensor
(CTS) to a calibrated test temperature sensor (CTTS) or (2) resident thermocouple
(R-T/C),perAMS2750D.
(1) The CTS shall be +/- 5C (or +/- 10F) of the CTTS at a typical operating
temperature range; this check shall be performed monthly. The procedure
shall follow AMS 2750D Section 3.4.
(2) The relationship between the CTS and R-T/C at the operating
temperature range shall be within +/- 1C (or +/- 2F) of their relationship
determined at the time of the most recent temperature uniformity survey; this
check shall be performed weekly. SAT per AMS 2750D Section 3.4 is not
required with this method.
- Any actions to correct a failing reading or validate a test result shall be
documented.
- Type K and N thermocouples shall be checked monthly for equipment operating
at or above 760C (1400F) and changed annually at a minimum.
- Type K and N thermocouples shall be checked quarterly for equipment operating
below 760C (HOOF) and changed every two years at a minimum.
- Type R and S thermocouples shall be checked monthly for equipment operating at
or above 760C (HOOF) and changed every two years at a minimum.
Furnace Temperature Uniformity Survey (TUS)
- Section 3.5.2- Multiple Qualified Operating Temperature Ranges
- Section 3.5.3 - Furnace Modifications
- Section 3.5.4- Furnace Repairs
16
AIAG
CQI-9
Assessment
- Section 3.5.5- Initial TUS

Minimum and maximum temperature ranges shall be tested per
AMS 2750D. Exception: If the operating range of the Qualified
Work Zone is equal to or less than 85C (153F) then only one
temperature is required to be tested. The temperature shall be
within the operating range of the Qualified Work Zone.
- Section 3.5.6 - Periodic TUS (For CQI-9, a minimum of once per year periodic
TUS is required)
Minimum and maximum temperature ranges shall be tested per
AMS 2750D. Exception: If the operating range of the Qualified
Work Zone is equal to or less than 85C (153F) then only one
temperature is required to be tested. The temperature shall be
within the operating range of the Qualified Work Zone.
- Section 3.5.8 - Furnace Parameters During TUS
- Section 3.5.9 - Furnace Temperature at Insertion of TUS Sensors
(Thermocouples)
- Section 3.5.10-Load Condition
- Section 3.5.11- Furnace Atmosphere During TUS
- Section 3.5.13 - Batch Furnaces, Salt Baths, Controlled Temperature Liquid
Baths, and Fluidized Bed Furnaces EXCEPT:
3.5.13.3.2: CQI-9 requires that data from the TUS sensors is
automatically recorded.
- Section 3.5.14 - Continuous and Semi-Continuous Furnaces
- Section 3.5.15 - Alternative Testing Methods for Continuous and Semi-
Continuous Furnaces or Furnaces with Retorts or Muffles
- Section 3.5.16 - Temperature Uniformity Survey Sensor Failures
- Section 3.5.18 - Relocation of Hot or Cold Recording Sensors for Class A or C
Instrumentation
- Section 3.5.20 - Temperature Uniformity Survey Instrumentation
- Section 3.5.21 - Temperature Uniformity Survey Report
17
00 Special Process: Heat Treat System Assessment
Assessment
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Question Not Needs Immediate CO ^ CD
Question Requirements and Guidance Objective Evidence N/A Satisfactory en
c
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Number Satisfactory Action O
^S
Section 1 - Management Responsibility & Quality Planning eS
To ensure readily available expertise, there shall
be a dedicated and qualified heat treat person on a>
site. This individual shall be a full-time employee
Is there a dedicated and

and the position shall be reflected in the
organization chart. A job description shall exist
?
1.1 qualified heat treat person on- identifying the qualifications for the position
site? including metallurgical and heat treat knowledge.
The qualifications shall include a minimum of 5 V)
years experience in heat treat operations or a ST
combination of a minimum of 5 years of formal 3
metallurgical education and heat treat experience. i»
(0
CO
CD
<0
The organization shall incorporate a documented (0
advance quality planning procedure. A feasibility 2
study shall be performed and internally approved
for each part. Similar parts can be grouped into
3
part families for this effort as defined by the
Does the heat treater perform organization. After the part approval process is
1.2
advanced quality planning? approved by the customer, no process changes
are allowed unless approved by the customer. The
heat treater shall contact the customer when
clarification of process changes is required. This
clarification of process changes shall be
documented.
The organization shall incorporate the use of a

documented Failure Mode and Effects Analysis
(FMEA) procedure and ensure the FMEA's are
updated to reflect current part quality status.
The FMEA shall be written for each part or part
family or they may be process-specific and written
Are heat treat FMEA's up to
for each process. In any case, they shall address
1.3 date and reflecting current
all process steps from part receipt to part shipment
processing?
and all key heat treat process parameters as
defined by the organization. A cross-functional
team shall be used in the development of the
FMEA. All special characteristics, as defined by
the organization and its customers, shall be
identified, defined, and addressed in the FMEA.
Assessment
Question Not Needs Immediate

Question Requirements and Guidance Objective Evidence N/A Satisfactory
Number Satisfactory Action
The organization shall incorporate the use of a

documented Control Plan procedure and ensure
the Control Plans are updated to reflect current
controls.
The Control Plans shall be written for each part or
part family or they may be processspecific and
written for each process. I n any case, they shall
address all process steps from part receipt to part
shipment and identify all equipment used and all
key heat treat process parameters as defined by
the organization.
Are heat treat process control
A crossfunctional team, including a production
1.4 plans up to date and reflecting
operator, shall be used in the development of
current processing?
Control Plans, which shall be consistent with all
associated documentation such as work
instructions, shop travelers, and FMEA's. All
special characteristics, as defined by the
organization and its customers, shall be identified, <D
defined, and addressed in the Control Plans. O
Sample sizes and frequencies for evaluation of
process and product characteristics shall also be
addressed consistent with the minimum
requirements listed in the Process Tables, o
Sections 3.0 and 4.0. CD
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Question Not Needs Immed iate <0
Question Requirements and Guidance Objective Evid ence N/A Satisfactory
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To ensure all customer requirements are both
understood and satisfied, the organization shall
0)
have all related heat treat and customer
referenced standards and specifications available
for use and a method to ensure that they are CO
0)
current. Such standards and specifications include, *•*
but are not limited to, those relevant documents
published by SAE, AIAG, ASTM, General Motors,
Ford, and DaimlerChrysler. The organization shall
f
have a process to ensure the timely review,
to
Are all heat treat related and distribution, and implementation of all customer ST
referenced specifications and industry engineering standards / specifications
3
current and available? For i.
1.5 and changes based on customer-required to
example: SAE, AIAG, ASTM, schedule. Timely review should be as soon as
General Motors, Ford, and
to
possible and shall not exceed two working weeks. CD
DaimlerChrysler. The organization shall document this process of to
to
review and implementation, and it shall address 2
how customer and industry documents are CD
3
obtained, how they are maintained within the
organization, how the current status is established,
and how the relevant information is cascaded to
the shop floor within the two-week period. The
organization shall identify who is responsible for
performing these
tasks.
The heat treater shall have written process

specifications for all active processes and identify
all steps of the process including relevant
operating parameters. Examples of operating
parameters include process temperatures, cycle
times, load rates, atmosphere or gas flow settings,
Is there a written process belt speeds, quench agitation speeds, etc. Such
1.6 specification for all active parameters shall not only be defined, they shall
processes? have operating tolerances as defined by the
organization in order to maintain process control.
All active processes should have a written process
specification.
These process specifications may take the form of
work instructions, job card, computer-based
recipes, or other similar documents.
Assessment

To demonstrate each process is capable of

yielding acceptable product the organization shall
perform product capability studies for the initial
validation of each process, after relocation of any
process equipment, & after a major rebuild of any
equipment. The organization shall define what
constitutes a major rebuild. Initial product capability
studies shall be conducted for all heat treat
processes per furnace line defined in scope of
work & in accordance with customer requirements.
Has a valid product capability A furnace line may include a combination of
study been performed initially equipment that is integrated in the performance of
1.7 and after process equipment a heat treatment process, e.g., hardening,
has been relocated, or had a quenching, and tempering. Capability study
major rebuild? techniques shall be appropriate for the heat treat
product characteristics, e.g., tensile strength, case
depth, hardness. Any specific customer
requirements shall be met, in the absence of CD
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customer requirements, the organization shall
establish acceptable ranges for measures of 5"
capability. An action plan shall exist to address the
steps to followed in case capability indices fall o
outside customer requirements or o
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established ranges. to
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The analysis of products and processes over time
can yield vital information for defect prevention CD
efforts. The organization shall have a system to 0)
Does the heat treater collect
collect, analyze, and react to product or process
and analyze data over time,
1.8 data over time.
and react to this data?
Methods of analysis shall include ongoing trend or
historical data analysis of product or process
parameters. The organization shall determine
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Management shall review the furnace monitoring °?»
systems at intervals not to exceed 24 hours. The
CD
heat treat monitoring system includes but is not 0)
limited to temperature strip charts, atmosphere
Is management reviewing the
strip charts, computer data logs, furnace and
heat treat monitoring system CD
1.9 operator logs, etc. CO
every 24 hours?
The management review shall include efforts to
detect out-of-control conditions or alarm
conditions. The process of reviewing the furnace tfl
data shall be documented and this requirement
also applies to computerized data. sr
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Are internal assessments CO
The organization shall conduct internal CD
being completed on an annual CO
1.10 assessments on an annual basis, at a minimum,
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basis, at a minimum, using
AIAG HTSA?
using the AIAG HTSA. 2
CD
3
The quality management system shall include a

documented process for reprocessing that shall
include authorization from a designated individual.
The reprocessing procedure shall describe product
characteristics for which reprocessing is allowed
as well as those characteristics for which
Is there a system in place to
reprocessing is not permissible.
1.11 authorize reprocessing and is
Any reprocessing activity shall require a new
it documented?
processing control sheet issued by qualified
technical personnel denoting the necessary heat
treat modifications. Records shall clearly indicate
when and how any material has been reprocessed.
The Quality Manager or a designee shall authorize
the release of reprocessed product.
The quality management system shall include a

Does the Quality Department
process for documenting, reviewing, and
review, address, and
1.12 addressing customer concerns and any other
document customer and
concerns internal to the organization. A disciplined
internal concerns?
problem-solving approach shall be used.
Assessment
Question Not Needs immediate

The heat treater shall define a process for

continual improvement for each heat treat process
Is there a continual identified in the scope of the HTSA. The process
improvement plan applicable shall be designed to bring about continual
1.13
to each process defined in the improvement in quality and productivity. Identified
scope of the assessment? actions shall be prioritized and shall include timing
(estimated completion dates). The organization
shall show evidence of program effectiveness.
Does the Quality Manager or

The Quality Manager is responsible for authorizing
designee authorize the
1.14 and documenting appropriate personnel to
disposition of material from
disposition quarantine material.
quarantine status?
There shall be procedures or work instructions CD

available to heat treat personnel covering the heat O
Are there procedures or work

treating process. These procedures or work 3"
instructions shall include methods of addressing
instructions available to the
potential emergencies (such as power failure), o
1.15 heat treat personnel that
equipment start-up, equipment shut-down, product o
define the heat treating CD
segregation (See 2.8), product inspection, and <fl
process? general operating procedures. These procedures W
or work instructions shall be accessible to shop
floor personnel.
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The organization shall provide employee training
for all heat treating operations. All employees,
including backup and temporary employees, shall
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be trained. Documented evidence shall be a>
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Is management providing
maintained showing the employees trained and the CO
1.16 employee training for heat
evidence shall include an assessment of the <* ***.
treating?
effectiveness of the training. Management shall ro CD
define the qualification requirements for each > Cfl
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function, and ongoing or follow-up training shall
also be addressed.
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The organization shall maintain a responsibility °?>

Is there a responsibility matrix
matrix identifying all key management and
supervisory functions and the qualified personnel
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CD
to ensure that all key
who may perform such functions. It shall identify
1.17 management and supervisory
both primary and secondary (backup) personnel for
functions are performed by
qualified personnel?
the key functions (as defined by the organization). 3
This matrix shall be readily available to
management at all times.
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The organization shall have a documented
2
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preventive maintenance program for key process
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equipment (as identified by the organization). The
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program shall be a closed-loop process that tracks CD
maintenance efforts from request to completion to Cfl
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assessment of effectiveness. Equipment operators 3
CD
shall have the opportunity to report problems, and
3
Is there a preventive problems shall also be handled in a closed-loop
maintenance program? Is manner.
maintenance data being Company data, e.g., downtime, quality rejects, first
1.18
utilized to form a predictive time-through capability, recurring maintenance
maintenance program? work orders, and operator-reported problems, shall
be used to improve the preventive maintenance
program. Furnaces and generators shall be
scheduled for burn-out at frequencies determined
by the organization (see Section 1 of the Process
Tables).
Maintenance data shall be collected and analyzed
as part of a predictive maintenance program.
Has the Heat Treater

The heat treater shall develop and maintain a
developed a critical spare part
critical spare parts list and shall ensure the
1.19 list and are the parts available
availability of such parts to minimize production
to minimize production
disruptions.
disruptions?
Assessment

Section 2 Floor and Material Handling Responsibility

It is critical that all customer requirements and lot
identification be adequately transferred to internal
heat treat documents. The facility shall ensure that
the data entered in the receiving system match the
information on the customer's shipping documents.
Documented processes and evidence of
Does the facility ensure that compliance shall exist, e.g., shop travelers, work
the data entered in the orders, etc. Sometimes the material received does
2.1 receiving system matches the not precisely correspond to customer shipping
information on the customer's documents. The facility shall have a detailed
shipping documents? process in place to resolve receiving
discrepancies.
The requirements stated above also apply to
captive heat treat departments. This process
refers to receiving and shipping the parts in and
out of the heat treat department.
CD
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Procedures for part and container identification 55"

help to avoid incorrect processing or mixing of lots.
Appropriate location and staging within the facility
also help to ensure that orders are not shipped
I
Is product clearly identified until all required operations are performed.
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2.2 and staged throughout the Customer product shall be clearly identified and <fl
staged throughout the heat treat process. Non
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heat treat process?
heat treated, inprocess, and finished product shall
be properly segregated and identified. All material i
shall be staged in a dedicated and clearly defined CD
area. CD
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Outgoing lot(s) shall be traceable to the incoming
lot(s).
Is lot traceability and integrity The discipline of precisely identifying lots and
2.3 maintained throughout all linking all pertinent information to them enhances <». 2
processes? the ability to do root cause analysis and continual
improvement.
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The control of suspect or nonconforming product

is necessary to prevent inadvertent shipment or
i
contamination of other lots. Procedures shall be
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Are procedures adequate to adequate to prevent movement of nonconforming

prevent movement of non product into the production system. Procedures <D
2.4
conforming product into the shall exist addressing proper disposition, product 0)
production system? identification, and tracking of material flow in and
out of the hold area. A nonconforming hold area
shall be clearly designated to maintain segregation
of such material.
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Heattreating furnaces and other processing
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equipment contain areas that have a risk of
trapping or holding parts. Such trapping of parts
Is there a system to identify
trap points in the entire heat
can lead to damage, improperly processed parts or TO
lot mixing/contamination. A system shall exist to 3
treat process to reduce risk of
identify trap points in the entire heat treat process
2.5 mixed parts (inappropriate,
to reduce risk of mixed parts (inappropriate, non
nonheat treated, or
heat treated, or improperly heat treated parts).
improperly heat treated
The heat treater shall have documented
parts)?
procedures to identify and monitor trap points for
each process/equipment. Monitoring of potential
trap points shall occur for every part changeover.
Containers handling customer product shall be free

of inappropriate material. After emptying and
before reusing containers, containers shall be
inspected to ensure that all parts and inappropriate
Are containers free of
2.6 material have been removed. The source of
inappropriate material?
inappropriate material shall be identified and
addressed. This is to ensure that no
nonconforming heat treated parts or inappropriate
material contaminate the finished lot.
Assessment

Furnace loading parameters shall be specified,

documented, and controlled. Examples include
Is furnace loading specified,
2.7 feed rate, belt speed, number of parts per fixture,
documented and controlled?
and load weight. Refer to Process Tables, Section
3.0, for frequency of checks.
Unplanned or emergency downtime greatly raises

the risk of improper processing. Operators shall
be trained in material handling, containment action,
Are operators trained in and product segregation in the event of an
material handling, equipment emergency including power failure.
containment action and Training shall be documented. Work instructions
2.8 product segregation in the specifically addressing potential types of
event of an equipment equipment emergencies and failures shall be
emergency including power accessible to and understood by equipment
failure? operators. These instructions shall address
containment actions related to all elements of the
CD
heat-treating process, e.g., loading, austentizing, O
quenching, tempering.
5'
Handling, storage, and packaging shall be
adequate to preserve product quality. The heat
treater's furnace loading system, in-process o
handling, and shipping process shall be assessed CD
Is the handling, storage and (A
for risk of part damage or other quality concerns.
2.9 packaging adequate to
preserve product quality?
Some equipment includes conveyors and other
moving components that may not be able to i
to
CD
handle all part configurations. Other practices 0J
such as stacking of overloaded containers can also
increase the risk of part damage. af
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Plant cleanliness, housekeeping, environmental, a:

and working conditions shall be conducive to CD
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controlling and improving quality. The heat treater ■-*
Are plant cleanliness,
should evaluate such conditions and their effect on
2.10
housekeeping, environmental
and working conditions
quality. A housekeeping policy shall be clearly ?
defined and executed. The facility shall be
I
conducive to control and reviewed for conditions that are detrimental to
improved quality? quality processing such as loose parts on floor, oil
around quench tanks, inadequate plant lighting,
smoke, etc. ar
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Many heat-treated parts are subjected to surface (/>
finish or appearance operations such as plating or <D
coating after heat treatment. Parts shall be free
3
from contaminants that are detrimental to
subsequent processes or the product. Pre-wash (if
applicable) and post-wash parameters shall be
monitored and documented. Oils and other
contaminants or residues can be difficult to remove
Are parts free from once subjected to the heat treatment process.
contaminants that would be Review the chemical supplier's recommendation
2.11
detrimental to the heat for cleaning the system. Parts shall be free of rust,
treatment of the product? burrs, chips, detrimental amounts of drawing
compound, cutting fluids, rust preventing oils,
lubricants, etc., prior to heat treat.
Note: Refer to the appropriate heat treater's
requirements and specifications to determine
acceptability. Refer to Process Table, Section 5.0,
for frequency of checking washer solutions-
Assessment
Question Not Needs Immed iate

Question Requirements and Guidance Objective Evid ence N/A Satisfactory
The quenching system shall be monitored,

documented, and controlled. The temperature,
agitation, level, concentration (if applicable), time
in the quenchant, and additions shall be controlled
to the heat treater's specifications. Refer to
Process Tables, Sections 3.0 and 5.0, for
Is the quenching system frequency of checks. Computer-monitoring
2.12 monitored, documented, and equipment, with alarms and alarm logs, satisfy the
controlled? verification requirement. Q uench delay tolerance
and alarm is required for furnaces with integral
quench tanks. Temper delay time shall be
specified by the heat treater for parts that are
quenched and tempered, e.g., carburizing,
carbonitriding, neutral hardening, solution treating
and aging.
Parts are often dipped in or sprayed with rust

preventive solutions immediately after the heat
treating process. Soluble oil solutions or other rust
Is soluble oil or other rust
preventive solutions shall be monitored and
2.13 preventive monitored and
controlled, if applicable. The heat treater shall
controlled if applicable? have and maintain documented tolerances for the
solutions. Refer to Process Tables, Section 5.0, o
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for frequency of checks. CD
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Process control parameters shall be monitored per
frequencies specified in Process Tables. Refer to CD
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Are process control Process Tables, Section 3.0. Computer •■*
parameters monitored per monitoring equipment with alarms and alarm logs
2.14
frequencies specified in satisfy the verification requirement. A designated sf
Process Tables? floor person shall verify the process parameters,
e.g., by initialing a strip chart or data log.
Management review is required per Question 1.9. (fl
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Are In-Process / Final Test In-Process / Final Test Frequencies shall be
2.15 Frequencies performed as performed as specified in Process Tables. Refer to 0)
specified in Process Tables? to Process Tables, Section 4.0. _w
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Product test equipment shall be verified. Test
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equipment shall be verified/calibrated per
applicable customer-specific standard or per an CD
applicable consensus standard such as those
Is product test equipment
2.16 published by ASTM, DIN, EN, ISO, JIS, NIST, SAE a>
verified?
etc. Verification/calibration results shall be
internally reviewed, approved, and documented.
Refer to Process Tables, Section 1.0, for S
frequency of checks.
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Assessment

Section 3 Equipment
The heattreat furnaces, generators, and quench
systems shall have proper process controls and
Do furnaces, generators, and related equipment. Examples include temperature,
3.1 quench systems have proper carbon potential/dew point, gas flows, quench
process control equipment? monitoring system including agitation, temperature
control and quenching oil analysis, etc. as listed in
the applicable Process Tables, Section 1.0.
The calibration and certification of the process

Are process equipment equipment shall be checked at regular specified
3.2 calibrations and/or verification intervals. Refer to the applicable Process Tables,
certified, posted, and current? Sections 1.0 and 2.0, for equipment calibration or
certification time tables.
The thermocouples and protection tubes shall be

Are thermocouples &
checked or replaced in compliance to a preventive
3.3 protection tubes checked or
maintenance schedule. Refer to the applicable
replaced per Process Tables?
Process Tables, Section 2.0. O
Are temperature uniformity

Temperature uniformity surveys shall be conducted
per the requirements in the applicable Process
Tables, Section 2.0. The frequency reductions
I
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allowed in AMS 2750D are not allowed under this <0
surveys performed per <0
3.4 document. Certain furnace designs, e.g., rotary
requirements in Process
retorts preclude direct temperature profiles.
Tables?
Alternate test methods per AMS 2750D 3.5.15 are
acceptable for furnaces where temperature
uniformity studies are not possible.
SU
Is the variation of the furnace

controlled thermocouple from
The variation between the furnacecontrol
thermocouple and the set point temperature shall
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3.5 set point within the be within the limits defined in the applicable ». 3
requirements in the Process Process Tables, Section 2.0. This does not apply °=> is^>
to the first zone of a multizone continuous furnace. K> <fl
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Are the process & equipment
The heat treater shall have a list of heat treat °?>
alarm checks being tested
process and equipment alarms. These alarms a:
3.6 shall be independently tested quarterly at a CD
quarterly or after any repair or 0)
minimum, and after any repair or rebuild. These <"*
rebuild?
checks shall be documented.
Generator and furnace atmosphere carbon ?
potential/dew point shall be continuously
monitored, automatically controlled, and
documented. This requirement is specific to </>
Process Table 1, Sections 1.0 and 3.0, for J?
carburizing, carbonitriding, and neutral hardening 3
Continuous monitoring and automatic control of the fc.
carbon potential/dew point is required for all <o
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generators and atmosphere furnaces except rotary <D
Are generators and furnace retort and shaker furnaces that preclude in situ Co
atmospheres continuously control and monitoring. For rotary retort and shaker 3
3.7 furnaces, the method described in AMS 2750D
monitored, automatically CD
controlled, and documented? 3.5.15..2 "Property Surveys" shall be used to 3
ensure adequate control of the furnace
atmosphere. If generators are not used, the flow
rates of the supplied atmosphere gases shall be
monitored and controlled. The assessor shall verify
the effectiveness of the atmosphere control system
per customer requirements, the heat treater's
control plan, and internal procedures.
The atmosphere control system shall maintain the

atmosphere dew point/carbon potential set point
within the parameters specified in the control plan
or internal procedures. The heat treater shall have
a back-up method of checking the carbon
potential/dew point. Examples are dew point,
electrical wire resistance, gas analysis, shim stock
carbon bar, etc. The automatic and continuous
atmosphere control system shall consist of sensors
such as oxygen probes or on-line Infrared (IR) gas
analysis. See Process Table A, Sect. 3.0 for
verification frequencies.
Assessment

This issue is specific to Process Table 1,

carburizing, carbonitriding, and neutral hardening.
When the back-up verification check of the
atmosphere does not agree or correlate within pre-
established limits with the primary control method
(carbon potential/dew point reading), the heat
treater shall resolve the out-of-limit discrepancy.
The back-up atmosphere monitoring system
reading and the automatically controlled
atmosphere dew point/carbon potential reading
When the back-up verification shall be maintained within the correlation limits
check of the atmosphere does specified in the control plan or internal procedures.
not agree or correlate within These range tolerances vary with the specific heat
pre-established limits with the treat process and the equipment used.
primary control method The heat treater shall make appropriate technical
(carbon potential/dew point adjustments and corrections and then re-
reading), is correlation of the establish/demonstrate the correlation of the actual
carbon-bearing atmosphere to atmosphere carbon potential/dew point reading to
the primary control method re- the primary control and back-up atmosphere CD
established? reading. The range tolerances for correlation
between the two readings shall be in the control 55"
plan or internal procedures. The back-up carbon
potential/dew point reading shall be established o
using one or more of the following methods: o
CD
• Carbon bar or slug W
• Shim stock
• 3-gas analyzer
• Dew point
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• Hot wire resistance
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All ammonia lines to furnaces shall be equipped

with quick disconnects or a three-valve fail-safe 0)
vent system. Normal valves may allow ammonia
to leak through even when they are closed. This
can be undesirable and detrimental in heat treat 5
processes not specifying/requiring ammonia.
f
• A quick disconnect shall be present in any
ammonia line going to a furnace. This line shall be
Are all ammonia lines
disconnected after carbonitriding (or any other
equipped with quick (0
3.9 process using ammonia) before another heat
disconnects or a three valve
treating operation not specifying/using ammonia 3
fail safe vent system?
begins.
• An alternative three-valve ammonia "fail-safe" (/>
vent system is permitted. See the definition "Three 0)
<D
Valve Fail-Safe Vent" and diagram in the glossary. <0
• Documentation shall show when ammonia lines to
are disconnected for non-ammonia bearing 3
CD
atmosphere processes.
3
This is applicable to fasteners and small metal

parts. The heat treater shall perform a minimum 3
hours oxidizing burn-out prior to processing
product not requiring ammonia as an addition.
For fasteners and small metal
Ammonia pick-up can be undesirable in parts and
parts, is a minimum of 3 hours
heat treat processes not specifying/requiring
3.10 allocated for an oxidizing burn-
ammonia as an addition. Log book, data logger, or
out prior to processing product
other records shall document the actual oxidizing
not requiring ammonia?
burn-out time and that sufficient time has been
allocated to remove ammonia from the furnace
prior to processing parts in heat treat processes
not specifying ammonia.
All atmosphere furnaces and generators (output

trim/adjustment gas) shall have flow scopes or flow
Do all atmosphere furnaces
meters for all gases. Flow scopes and meters
and generators have flow
3.11 shall be periodically serviced per the heat treater's
scopes or flow meters for all
preventive maintenance program. Cleaning and
gases?
proper re-assembly procedures shall be
documented.
Assessment

Infrared temperature pyrometers are required at

the exit end of continuous belt furnaces running
For threaded fasteners, are all threaded fasteners to monitor for under
continuous belt furnaces temperature parts. The temperature alarm shall be
equipped with sight glass within 28C (50F) of the furnace set point
3.12
inspection ports and infrared temperature. Results shall be strip charted or
pyrometers at discharge end continuously data logged. Infrared (IR) units shall
of the hardening furnace? be calibrated annually at a minimum and certified.
All sight glasses shall be cleaned per the
preventive maintenance schedule.
Applicable to ferritic-nitrocarburizing,
austempering, and neutral hardening in salt.
Is salt chemistry in the The heat treater shall check the salt chemistry in
3.13 austenttizing salt bath the austentizing salt bath, or part decarburization,
monitored? daily. Refer to the applicable Process Tables,
Section 3.0, for frequency of checks.
CD
o
The heat treater shall periodically have the
quenching medium analyzed for specific 5"
quenching characteristics, e.g., cooling curve, o
water content, salt concentration, as specified in o
CD
the applicable Process Tables, Section 5.0. to
Is the quenching medium to
3.14 • The quench media characteristic tolerances shall
analyzed?
be specified by the quench medium supplier or the 3:
heat treater. CD
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• Analysis shall be reviewed for conformance by
the heat treater. This review shall be documented.
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FOR INDUCTION HEAT TREATING
3.15
Is the positioning of each part
A method to detect proper part position, such as
the use of proximity switches, optical sensors,
i
being controlled? (D
mechanical probes, etc., is required for each part.
a>
The heat treater shall control the energy or power
for each part.
• A signature monitor for each machine is </>
Does the heat treater control
preferred. A signature monitor gives the energy flf
unit (voltage, kilowatt, etc.) vs. time or distance (for
3.16 the energy or power for each
scanning systems).
3
part?
• An energy monitor or equivalent is acceptable if
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approved by the authorized customer
to
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The heat treater shall have a coil management <D
3
system. Coil refers to the heating coil and the
quench plenum.
Does the supplier have a coil • Spare coils for each part shall be available on-
management system? Coil site.
3.17
refers to the heating coil and • Coils shall conform to the approved original
the quench plenum. design.
• Engineering change approval from the customer
is required whenever the coil design is changed.
The quench system shall be an automatic

operation. No manual quenching is allowed unless
3.18 Is quench system automatic? specifically approved by the authorized customer
representative. Quenching shall be automatically
initiated and controlled.
Does each lot of parts have The heat treater shall perform first piece set-up for
3.19
first piece set-up? each lot of parts
WvM^VS^^^MMm Special Process: Heat Treat System Assessment
Instructions for completing the Job Audit
The organization is to complete a minimum of one heat treat part job audit during each assessment. This
should be done preferably on a part identified for one of the customers requiring compliance to this
document. More part job audits may be done if time permits. Preferably, safety or critical parts should be
audited. This may not be easily determined with fasteners, especially if the fastener manufacturer does not
identify the end customer (auto manufacturer, tier one, etc.). It is recommended that the job audit be
performed at the end of the heat treat system assessment.
The job audit is not the only or main focus of the HTSA. The other three sections on Management
Responsibility and Quality Planning, Floor and Material Handling Responsibility, and Equipment are
equally if not even more important. The job audit of one part, one heat process, and one furnace is not
sufficient to use as a basis to complete the other sections of the complete HTSA.
The job audit is a compliance type audit/review of a specific part and its related paperwork and
processing, including heat treat equipment and processing records for that job from the beginning receipt
of a part through processing in the heat treat operation and inspection to packaging. Parts shall be taken
from the shipping area at the dock or the end of the heat treat operation. If an automotive manufacturer's
part is not available or identifiable, then parts from other customers requiring compliance with this
document shall be used for the assessment.
The part or lot checked shall represent a major heat treat operation such as quench and tempering,
carburizing and tempering, induction hardening for steel, solution treating and aging of aluminum, etc. In
subsequent heat treat system assessments, different parts and heat treat processes shall be checked.
The specific heat treat processing parameters (applies to 4.7 in the Job Audit) that are required in the job
audit shall be added to the job audit form. This can be done by reviewing the customer specification(s),
the Control Plan, the FMEA, and the floor work/job order. Each processing step shall be reviewed for
proper production records/compliance/inspection. These steps can be compared to those in the Heat Treat
System Assessment for the actual job/heat treat process being reviewed for compliance. The heat treat and
furnace records for the actual time frame/shift etc. that the job was processed shall also be checked. The
actual furnace equipment and instrumentation certification shall be verified as being in compliance to the
appropriate equipment requirements in the equipment section.
37
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Job Identity:
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Shop Order Number: en *D CO
Part Number TO
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Part Description °- 52
Material 2? to
Heat Treat Requirements
a:
Related Customer or Internal Job (Shop) Order or Reference Actual Condition Pass / Fail 0)
Question # Job Audit Question
HTSA Question # Requirement Documentation Requirement (Objective Evidence) /N/A
4.1 Are contract review, advance quality 1.2 3
planning, FMEA, control plans, etc., 1.3 a>
performed by qualified individuals? 1.4 N/A
1.17 to
4.2
S-
Does the heat treat facility have the
1.5 N/A 2
customer specifications for the part? is.
to
to
4.3 Is a shop traveler created to meet 1.6 CD
to
customer requirements? 2.1 to
2
4.4 Is material identification (part 2.2 CD
numbers, lot numbers, heat 2.3 3
numbers, contract numbers, etc.) 2.4
maintained throughout the heat
treat orocess?
4.5 Is there documented evidence of 2.1
Receiving Inspection?
4.6 1.6
Are the Loading / Racking 2.7
requirements identified? 2.9
4.7 Is the proper recipe or process 1.5
specification (cycle times, 1.6
temperature, atmosphere, etc.) 2.1
used? Refer to Process Tables, 2.14
Section 3.0, for specific parameters. 2.15
List parameters that were verified in
this audit in the spaces provided
below.
Section 4 - Job Audit
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Heat Treat Requirements:
Related Customer or Internal Job (Shop) Order or Reference Actual Condition Pass / Fail
CD
O
4.8 What are the product inspection 2.15
requirements?
4.8.1 Requirement: (1)
Test Method:
Test frequency or quantity:
J
o
Selection of samples: CD
W
Specification: to
4.8.2 Requirement: (2)
Test Method: 0)

Selection of samples: CD
Specification:
4.8.3 Requirement: (3) a>
Test Method:
Selection of samples: to
Specification: i.3
4.8.4 Requirement: (4) : *
Test Method:
j
to
' CD
! to
to
o
CO
Selection of samples:
Specification:
; to
^3 _
J CD
0
g
3= t O
4^
O Section 4 - Job Audit
Job Identity:
Customer: N Si.
Shop Order Number: w ^ CO
Part Number:
Part Description: °- 53
Material:
CD
Related Customer or Internal Job (Shop) Order or Reference Actual Condition Pass / Fail a>
Question # Job Audit Question < ■ *
HTSA Question # Requirement Documentation Requirement (Objective Evidence) IN/A
Operator or Inspector Responsibilities J
4.9 Were appropriate process steps 1.4
signed off? 2.2
2.3
2.14
4.10 Were all inspection steps, as 1.2 2
documented in the control plan 1.4 1*
</>
performed? (A
CD
4.11 1.2 (A
(0
1.4
Were steps/operations performed
1.6 3
that were not documented in the CD
control plan? 3
4.12 If additional steps were performed, 1.2

were they authorized? 1.4
1.6
1.11
1.17
4.13 Does the governing specification 1.11
allow reprocessing or rework?
4.14 If the order was certified, did the 2.14
certification accurately reflect the 2.15
process performed?
4.15 Was the certification signed by an 1.17
authorized individual?
4.16 Are the parts and containers free of 2.6
inappropriate objects or 2.11
contamination?
Section 4 - Job Audit
Job Identity:
Customer:
Shop Order Number:
Part Number:
Part Description:
Material:
Related Customer or Internal Job (Shop) Order or Reference Actual Condition Pass / Fail
Packaging Requirements
4.17 Are packaging requirements 2.9
identified?
4.18 2.9
Are parts packaged to minimize
mixed parts (for example, parts
packed over height of container)?
Shipping Requirements
4.19 Were the parts properly identified? 2.3
2.9
Were the containers properly 2.3 CD

O
4.20 labeled? 2.9 9)
O
O
CD
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(/)
CD
en
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«. 2
° <*.
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o 3
CQI-9
AIAC*
■ " » « w
APPENDIX A PROCESS TABLES

PROCESS TABLE A:
CARBURIZING / CARBONITRIDING / CARBON CORRECTION / NEUTRAL HARDENING /
AUSTEMPERING / MARTEMPERING / TEMPERING /
PRECIPITATION HARDENING - AGING 43
PROCESS TABLE B:
NITRIDING (GAS) AND FERRITIC-NITROCARBURIZING (GAS OR SALT) 48
PROCESS TABLE C:
ALUMINUM HEAT TREATMENT 54
PROCESS TABLE D:
INDUCTION HEAT TREATING 58
PROCESS TABLE E:
ANNEALING/NORMALIZING/STRESS-RELIEVING 62
42
AIAG
CQI-9
Assessment
PROCESS TABLE A - Carburizing / Carbonitriding / Carbon Correction / Neutral Hardening /

Austempering / Martempering / Tempering / Precipitation Hardening - Aging
All requirements given below are subordinate to customer specific requirements.
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the auditor
shall verify heat treater is conforming to the customer's requirements.
* Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
** Does not apply to furnaces operating below 760C (1400F).
— indicate "not applicable".
Item# Related HTSA Category/Process Steps Batch Continuous Generators

Question # Furnace Furnace *
1.0 PROCESS AND TEST EQUIPMENT REQUIREMENTS
A1.1 3.1 All furnaces, generators and quench systems shall have Yes Yes Yes
3.7 temperature indicating instruments.
A1.2 3.1 Continuous strip charts and/or data loggers are required for Yes Yes Yes
3.7 temperature and carbon monitoring unit, e.g., dew point,
oxygen probe, IR gas analyzer, etc.
A1.3 1.18 A program for furnace and generator burnout is required Yes Yes Yes
(applies to carbon bearing atmospheres).
A1.4 3.2 Furnace weigh scales shall be verified quarterly and calibrated Yes Yes
annually at a minimum.
A1.5 3.2 Dew pointers, 3-gas analyzers, spectrometers, and carbon IR
combustion analyzers (shim stock analysis), used to verify
carbon potential in furnaces, shall be calibrated annually at a
minimum.
A1.6 3.2 Verification of calibration of spectrometers, and carbon IR

combustion analyzers, shall be checked daily or prior to use.
A1.7 3.2 Verification of calibration of 3-gas analyzers with zero gas and
span gas shall be performed weekly at a minimum.
A1.8 3.2 Oxygen probe controllers shall be calibrated quarterly at a Yes Yes Yes
minimum.
A1.9 2.16 All hardness test equipment (for each scale used) shall be
calibrated semi-annually minimum, and verified daily minimum
per the applicable ASTM standard.
A1.10 2.16 Files shall be verified daily (or prior to use) with provers per
SAE J864.
A1.11 3.2 Refractometers (typically used to check polymer quenchants
and washer solutions) shall be verified daily (with distilled
water) and calibrated annually (per manufacturer's
requirements) at a minimum.
43
CQI-9
Assessment AIA

indicate "not applicable".

2.0 PYROMETRY
A2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes
3.3 conform to AMS 2750D.
A2.2 3.2 Instrument Calibration per AMS 2750D shall be quarterly at a Yes Yes Yes
3.3 minimum.
Frequency reductions per AMS 2750D are not allowed.
A2.3 3.2 CQI-9 requires a comparative check of the control temperature Yes Yes Yes
3.3 sensor (CTS) in the Qualified Work Zone to a (1) calibrated
test temperature sensor (CTTS) or, (2) resident thermocouple
(R-T/C). (1) The CTS shall be within an operating temperature
range of +/- 5C (or +/-10F) ofthe CTTS. This check shall be
performed monthly. (2) Within the operating temperature
range the difference between the CTS and R-T/C readings
shall be no more than +/- 1C (or +/-2F) as determined at the
time ofthe most recent temperature uniformity survey. This
check shall be performed weekly. Any actions to correct a
failing reading or validate a test result shall be documented.
Additionally, Type K and N thermocouples shall be checked
monthly for equipment operating at or above 760C (1400F)
and changed annually at a minimum. Type K and N
thermocouples shall be checked quarterly for equipment
operating below 760C (1400F) and changed every two years at
a minimum.
Type R and S thermocouples shall be checked monthly for

equipment operating at or above 760C (1400F) and changed
every two years at a minimum. Protection Tubes shall be
visually checked at the same frequency as thermocouples.
A2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS 2750D for Yes Yes - In Qualified Work
procedures. TUS frequency shall be annual and after major Zone
rebuild.
Temperature uniformity tolerance for hardening furnaces shall

be +/-14 C (or +/- 25 F). Temperature uniformity tolerance for
tempering furnaces shall be +/-11 C (or +/- 20 F).
Minimum and maximum temperature ranges shall be tested

per AMS 2750D. Exception: If the operating range ofthe
Qualified Work Zone is equal to or less than 85 C (153 F) then
only one temperature is required to be tested. The
temperature shall be within the operating range ofthe
Qualified Work Zone.
A2.5 3.5 Recorded temperature(s) for austentizing processes shall be Yes Yes - In Qualified Work
controlled within +/- 9C (or +/-15F) of the set point as Zone
evidenced by continuous recording pyrometers. Furnace
temperature shall be controlled with soak times starting at the
lower tolerance limit (as defined above).
44
AIA<
CQi-9


A2.6 3.5 Recorded temperature(s) for tempering and precipitation Yes Yes - In Qualified Work
hardening processes shall be controlled within +/- 6C (or +/- Zone
10F) of the set point as evidenced by continuous recording
pyrometers. Furnace temperature shall be controlled with
soak times starting at the lower tolerance limit (as defined
above).
A2.7 3.2 Infrared pyrometers shall be calibrated to a black body furnace

annually.
45
CQi-9
Assessment AIA

Item # Related HTSA Category/Process Steps Batch Continuous Generators

3.0 PROCESS MONITOR FREQUENCIES
A3.1 1.4 Monitor primary temperature control instrument(s). Each batch or Each lot or continuous Each Shift
2.14 continuous recording recording with sign-off
with sign-off every 2 every 2 hours. Alarm
hours. Alarm systems systems satisfy the sign-
satisfy the sign-off off requirement.
requirement.
A3.2 1.4 Monitor generator atmospheres. Continuous
2.14
3.7
A3.3 1.4 Monitor primary furnace atmosphere control(s)**. Continuous recording Continuous recording
2.14 with sign-off every 2 with sign-off every 2
3.7 hours. Alarm systems hours. Alarm systems
satisfy the sign-off satisfy the sign-off
requirement. requirement.
A3.4 1.4 Verify primary atmosphere control method by back-up Daily Daily Daily
2.14 method**.
3.7
A3.5 1.4 For austentizing salt baths: Salt chemistry (soluble oxides) or Daily Daily
2.14 decarburization on the parts shall be checked daily.
3.13
A3.6 1.4 Quench Media Process Parameters
2.12 - Temperature Each batch or Each lot or continuous
continuous recording recording with sign-off
requirement.
- Quench Level Daily Daily

- Agitation - Daily visual check is - Daily visual check is
required. required.
- Monitor each load in - Monitor every 2 hours

the absence of an in the absence of an
alarm system. alarm system.
A3.7 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any
2.14 change in the belt
speed.
A3.8 1.4 Monitor load size or fixturing or loading rate as applicable. Each batch Twice/shift & after any
2.7 change in loading rate.
A3.9 1.4 Quench Delay Time - Each batch Each basket for pusher-
2.12 Alarm system shall be based on the time that the load exits the type continuous
furnace to the time the load is at the bottom of the quench furnaces. Not applicable
tank. for belt furnaces.
46
AIAG
CQI-9
Assessment

** Does not apply to furnaces operating below 760C (1400F),

4.0 IN-PROCESS/FINAL TEST FREQUENCIES
A4.1 1.4 Microstructure Daily per furnace Daily per furnace

2.15
A4.2 1.4 Surface hardness Each batch Every 2 hours minimum
2.15
A4.3 1.4 Core hardness (when specified) Each batch Every 4 hours
2.15
A4.4 1.4 Case depth (when specified) Each batch Every 4 hours
2.15
5.0 QUENCHANT AND SOLUTION TEST FREQUENCIES
A5.1 2.12 Polymer Quench Media
3.14 - Concentration Daily Daily
- Quenchability Check; e.g., cooling curve, viscosity, or titration Every six months Every six months
A5.2 2.12 Water Quench Media

3.14 - Suspended solids Every six months Every six months
A5.3 2.12 Salt Quench Media
3.14 - Analysis & Contaminants Every six months Every six months
A5.4 2.12 Brine or Caustic Quench Media
3.14 - Concentration and/or Specific Daily Daily
Gravity.
- Suspended solids Every six months Every six months
A5.5 2.12 Oil Quench Media
3.14 - Water content, suspended solids, Quarterly Quarterly
viscosity, cooling curve, total acid,
and flash point.
A5.6 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week
A5.7 2.11 Washers
- Concentration of cleaner Daily Daily
- Temperature of solution (required if temperature is specified Each shift Each shift
to be above ambient temperature).
47
CQI-9
Assessment AIAG
PROCESS TABLE B - Nitriding (Gas) and Ferritic-Nitrocarburizing (Gas or Salt)

The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When performing the job audit, the
auditor shall verify heat treater is conforming to the customer's requirements.
Item# Related Category/Process Steps Batch Continuous Generators Salt Bath

HTSA Furnace Furnace*
Question #
1.0 PROCESS AND TEST EQUIPMENT
REQUIREMENTS
B1.1 3.1 All furnaces, generators and quench systems shall Yes Yes Yes Yes
3.7 have temperature indicating instruments.
B1.2 3.1 Continuous strip charts and/or data loggers are Yes Yes Yes Yes-
3.7 required for temperature and carbon monitoring unit, For
e.g., dew point, oxygen probe, IR gas analyzer, etc. temperature
only
B1.3 1.18 A program for furnace and generator burnout is Yes Yes Yes
required. Not required for retort gas nitriding.
B1.4 3.12 For austentizing salt baths: Salt chemistry (soluble Yes
3.13 oxides) or decarburization on the parts shall be
checked daily.
B1.5 3.2 Furnace weigh scales shall be verified quarterly and Yes Yes
calibrated annually at a minimum.
B1.6 3.2 Dew pointers and gas analyzers, used to verify proper
atmosphere in furnaces, shall be calibrated annually at
a minimum.
B1.7 2.16 All hardness test equipment (for each scale used)
shall be calibrated semi-annually minimum, and
verified daily minimum per the applicable ASTM
standard.
B1.8 2.16 Files shall be verified daily (or prior to use) with
provers per SAE J864.
B1.9 3.2 Refractometers (typically used to check polymer
quenchants and washer solutions) shall be verified
daily (with distilled water) and calibrated annually (per
manufacturer's requirements) at a minimum.
48
AIAGC*
CQI-9
Assessment

auditor shall verify heat treater is conforming to the customer's requirements,

Question #
2.0 PYROMETRY
B2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes Yes
B2.2 3.2 Instrument Calibration per AMS 2750D shall be Yes Yes Yes Yes
3.3 quarterly at a minimum.
Frequency reductions per AMS 2750D are not

allowed.
B2.3 3.2 CQI-9 requires a comparative check of the control Yes Yes Yes Yes
3.3 temperature sensor (CTS) in the Qualified Work Zone
to a (1) calibrated test temperature sensor (CTTS) or,
(2) resident thermocouple (R-T/C).
(1) The CTS shall be +/- 5C (or +/-10F) of a CTTS at

the operating temperature range; this checked shall
be performed monthly.
(2) The relationship between the CTS and R-T/C at

the operating temperature range shall be within +/- 1C
(or +/- 2F) of their relationship determined at the time
of the most recent temperature uniformity survey; this
checked shall be performed weekly.
Any actions to correct a failing reading or validate a

test result shall be documented.
Additionally, Type K and N thermocouples shall be

checked monthly for equipment operating at or above
760C (1400F) and changed annually at a minimum.
Type K and N thermocouples shall be checked
quarterly for equipment operating below 760C (1400F)
and changed every two years at a minimum.
Type R and S thermocouples shall be checked

monthly for equipment operating at or above 760C
(1400F) and changed every two years at a minimum.
Protection Tubes shall be visually checked at

same frequency as thermocouples.
49
CQI-9
Assessment AIAGC*

Item # Related Category/Process Steps Batch Continuous Generators Salt Bath

Question #
B2.4 3.4 Temperature Uniformity Survey (TUS): refer to AIMS Yes Yes - In Qualified Yes
2750D for procedures. TUS frequency shall be annual Work Zone
and after major rebuild.
Temperature uniformity tolerance shall be +/- 9 C (15

F).
Minimum and maximum temperature ranges shall be

tested per AMS 2750D. Exception: If the operating
range of the Qualified Work Zone is equal to or less
than 85 C (153 F) then only one temperature is
required to be tested. The temperature shall be within
the operating range of the Qualified Work Zone.
Frequency reductions per AMS 2750D are not

allowed.
B2.5 3.5 Recorded temperature(s) shall be controlled within +/- Yes Yes - In Qualified Yes
9C (or +/- 15F) of the set point as evidenced by Work Zone
continuous recording pyrometers. Furnace
temperature shall be controlled with soak times
starting at the lower tolerance limit (as defined above).
B2.6 3.2 Infrared pyrometers shall be calibrated to a black body

furnace annually.
50
AIAG^
CQI-9


Question #
B3.1 1.4 Monitor primary temperature control instrument(s). Each batch or Each lot or Each Shift Every 2 hours
2.14 continuous continuous & after any
recording with recording with change
sign-off every sign-off every 2
2 hours. hours. Alarm
Alarm systems satisfy
systems the sign-off
satisfy the requirement.
sign-off
requirement.
B3.2 1.4 Monitor generator atmospheres, if applicable. Continuous

2.14
3.7
B3.3 1.4 Monitor primary furnace atmosphere control(s). Each batch Continuous Daily
2.14 (rotary recording with
3.7 furnaces only) sign-off every 2
or continuous hours. Alarm
recording with systems satisfy
sign-off every the sign-off
2 hours. requirement.
Alarm
systems
satisfy the
sign-off
requirement.
B3.4 1.4 Dissociation of ammonia shall be checked in gas Each batch Every 4 hours Daily N/A
3.7 nitriding. and every 4
hours
minimum
B3.5 1.4 Gas ratios for ferritic nitrocarburizing shall be checked. Each batch Every 2 hours
3.7 minimum
B3.6 1.4 Check salt chemistry (soluble oxides) in salt baths Daily
2.14 used for austenitizing, or decarburization on the parts.
3.13
51
CQI-9
Assessment AIAG


Question #
B3.7 1.4 Quench Media Process Parameters
2.12 - Temperature Each batch or Each lot or Each batch or
continuous continuous continuous
recording with recording with recording with
sign-off every sign-off every 2 sign-off every
2 hours. hours. Alarm 2 hours.
Alarm systems satisfy Alarm systems
systems the sign-off satisfy the sign
satisfy the requirement. off
sign-off requirement.
requirement.
- Quench Level Daily Daily Daily

- Agitation - Daily - Daily Daily
- Monitor - Monitor every 2
each load in hours in the
the absence absence of an
of an alarm alarm system.
system.
B3.8 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & Each batch
2.14 after any change
in the belt speed.
B3.9 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & Each batch
2.7 applicable. after any change
in loading rate.
B3.10 1.4 Quench Delay Time if applicable - Each batch Each basket if Each batch
2.12 Alarm system shall be based on the time that the load applicable.
exits the furnace to the time the load is at the bottom
of the quench tank.
B4.1 1.4 Microstructure Daily per Daily per furnace Daily per
2.15 furnace furnace
B4.2 1.4 Surface hardness Each batch Every 2 hours Each batch
2.15 minimum
B4.3 1.4 Core hardness (when specified) Each batch Every 4 hours Each batch
2.15
B4.4 1.4 Case depth (when specified) Each batch Every 4 hours Each batch
2.15
52
AIAGD*
CQI-9


Question #
5.0 QUENCHANT AND SOLUTION TEST
FREQUENCIES
Quench Media Controls If Applicable
B5.1 2.12 Polymer Quench Media
- Quenchability Check; e.g., cooling Every six Every six months
curve, viscosity, or titration. months
B5.2 2.12 Water Quench Media
3.14 - Suspended solids Every six Every six months
months
B5.3 2.12 Salt Quench Media
3.14 - Analysis & Contaminants Every six Every six months Every six
months months
B5.4 2.12 Brine or Caustic Quench Media

3.14 - Concentration and/or Specific Daily Daily
Gravity
- Suspended solids Every six Every six months
months
B5.5 2.12 Oil Quench Media
3.14 - Water content, suspended solids, Quarterly Quarterly
viscosity, cooling curve, total acid,
and flash point.
B5.6 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week 2x / week
B5.7 2.11 Washers
- Concentration of cleaner Daily Daily Daily
- Temperature of solution (required if temperature is Each shift Each shift Each shift
specified to be above ambient temperature).
53
CQI-9
Assessment AIAGC*
PROCESS TABLE C - Aluminum Heat Treating
'Continuous furnace frequencies are per lot (work order) or as specified, whichever is more frequent.
Item# Related Category/Process Steps Batch Solution Treating Continuous Solution Annealing
HTSA and Aging Furnaces Treating and Aging Furnace
Question # Furnaces
REQUIREMENTS
C1.1 3.1 All furnaces and quench systems shall have Yes Yes Yes
3.7 temperature indicating instruments.
C1.2 3.1 Continuous strip charts and/or data loggers are Yes Yes Yes
3.7 required for temperature sensors.
C1.3 2.16 All hardness test equipment (for each scale used) shall
be calibrated semi-annually minimum, and verified daily
minimum per the applicable ASTM standard.
C1.4 3.2 Furnace weigh scales shall be verified quarterly and Yes Yes Yes
C1.5 3.2 Refractometers (typically used to check polymer
quenchants and washer solutions) shall be verified
daily (with distilled water) and calibrated annually (per
manufacturer's requirements) at a minimum.
54
CQI-9
AIAGC*
Question # Furnaces
2.0 PYROMETRY
C2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes
C2.2 3.2 Instrument Calibration per AMS 2750D shall be Yes Yes Yes
3.3 quarterly at a minimum.
C2.3 3.2 CQI-9 requires a comparative check of the control Yes Yes Yes
3.3 temperature sensor (CTS) in the Qualified Work Zone
to a (1) calibrated test temperature sensor (CTTS) or,
(2) resident thermocouple (R-T/C).
(1) The CTS shall be +/- 5C (or +/-10F) of a CTTS at

the operating temperature range; this checked shall be
performed monthly.
(2) The relationship between the CTS and R-T/C at the

operating temperature range shall be within +/- 1C (or
+/- 2F) of their relationship determined at the time of
the last temperature uniformity survey; this checked
shall be performed weekly.
Any actions to correct a failing reading or validate a test

result shall be documented.

Type K and N thermocouples shall be checked
quarterly for equipment operating below 760C (1400F)
and changed every two years at a minimum.
Type R and S thermocouples shall be checked monthly

for equipment operating at or above 760C (1400F) and
changed bi-annually every two years at a minimum.

55
CQI-9
Assessment AIAGL*
Question # Furnaces
C2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS Yes Yes - In Qualified Work Yes
2750D for procedures. TUS frequency shall be Zone
quarterly and after major rebuild.
Temperature uniformity tolerance for solution treating

and aging furnaces shall be +/- 6 C (or +/-10 F).
Temperature uniformity tolerance for annealing
furnaces shall be +/-14 C (or +/- 25 F).

tested per AMS 2750D. Exception: If the operating
range of the Qualified Work Zone is equal to or less
than 85 C (153 F) then only one temperature is
required to be tested. The temperature shall be within
the operating range of the Qualified Work Zone.
C2.5 3.5 Recorded temperature(s) shall be controlled within +/- Yes Yes - In Qualified Work
6C (or +/- 10F) of the set point as evidenced by Zone
temperature shall be controlled with soak times starting
at the lower tolerance limit (as defined above).
C2.6 3.5 Recorded temperature(s) shall be controlled within +/- Yes

9C (or +/- 15F) of the set point as evidenced by
temperature shall be controlled with soak times starting
at the lower tolerance limit (as defined above).
C2.7 3.2 Infrared pyrometers shall be calibrated to a black body

furnace annually.
56
AIAG^
CQI-9
AH requirements given below are subordinate to customer specific requirements.
ltem# Related Category/Process Steps Batch Solution Treating Continuous Solution Annealing
Question # Furnaces
C3.1 1.4 Monitor primary temperature control instrument(s). Each batch or continuous Each lot or continuous Each batch or
2.14 recording with sign-off recording with sign-off continuous
every 2 hours. Alarm every 2 hours. Alarm recording with
systems satisfy the sign-off systems satisfy the sign- sign-off every
requirement. off requirement. 2 hours.
Alarm
systems
satisfy the
sign-off
requirement.
C3.2 1.4 Quench Media Process Parameters
2.12 - Heat treater shall specify temperature range based on Each batch or continuous Each lot or continuous
product form and material. Temperature shall be recording with sign-off recording with sign-off
monitored as noted. every 2 hours. Alarm every 2 hours. Alarm
systems satisfy the sign-off systems satisfy the sign-
requirement. off requirement.
- Quench Level Daily Daily
- Agitation - Daily visual check is - Daily visual check is
required. required.
- Monitor each load in the - Monitor every 2 hours in

absence of an alarm the absence of an alarm
system. system.
C3.3 1.4 Monitor process cycle time Each batch Twice/shift & after any Each batch
2.14 change in the indexing
speed.
C3.4 1.4 Monitor load size or fixturing as applicable. Each batch Twice/shift & after any Each batch
2.7 change in loading rate.
C3.5 1.4 Quench Delay Time - Each batch Each load
2.12 Quench delay time shall be based on the time that the
load exits the furnace to the time the load is at the
bottom of the_guench tank.
C4.1 1.4 Hardness or tensile testing (post aging). Each batch Every 4 hours Each batch or
2.15 every 4 hours
for continuous
furnaces.
SO QUENCHANT AND SOLUTION TEST

FREQUENCIES
C5.1 2.12 Polymer Quench Media
- Suspended solids Every six months Every six months
- Quenchability Check; e.g., cooling Every six months Every six months
curve, viscosity, or titration.
C5.2 2.12 Water Quench Media
3.14 - Suspended solids Every six months Every six months
C5.3 2.11 Washers
- Concentration of cleaner Daily Daily Daily
- Temperature of solution (required if temperature is Each shift Each shift Each shift
57
CQI-9
Version 2, issued 8/07
Assessment AIAGC*
PROCESS TABLE D - Induction Heat Treating
The customer may have additional requirements, e.g., inspection testing, greater frequencies, etc. When
performing the job audit, the auditor shall verify heat treater is conforming to the customer's
requirements.
Item# Related HTSA Category/Process Steps Per Coil

Question #
REQUIREMENTS
D1.1 — Per customer requirement
D1.2 2.16 All hardness test equipment (for each scale
used) shall be calibrated semi-annually
minimum, and verified daily minimum per
the applicable ASTM standard.
D1.3 2.16 Files shall be verified daily (or prior to use)

with provers per SAE J864.
D1.4 3.2 Refractometers (typically used to check
polymer quenchants and washer solutions)
shall be verified each shift (with distilled
water) and calibrated annually (per
manufacturer's requirements) at a
minimum.
58
AIAG^
CQI-9
Assessment
requirements.
—— indicate "not applicable".

Question #
2.0 PYROMETRY
D2.1 3.2 Infrared pyrometers shall be calibrated to a
black body furnace annually.
3.0 PROCESS MONITORING FREQUENCIES
All process parameters shall be checked the beginning of every shift, tool change, or any equipment
repair. In absence of process parameter alarms, also check process parameters at end of shift or lot
(whichever is the greater frequency).
D3.1 1.4 Quench Media Process Parameters

2.12 - Temperature Alarm system for high and low
temperature is required.
- Quench Level Daily

- Quench Pressure and Flow - Quench pressure and flow may
checked at manifold. Quench
flow shall be checked visually at
each coil.
- In the absence of an alarm
system, monitor every 2 hours or
after any change.
D3.2 1.4 Monitor cycle time Check cycle time at start up and
2.14 after any process change.
D3.3 1.4 Monitor: - This requirement applies to each
2.14 1) Volts or Amps, and power supply (not per coil).
3.16 2) Kilowatts - In the absence of an alarm
Use of an energy monitor or signature system, monitor every 2 hours or
monitor satisfies 1) and 2). after any change.
59
CQI-9
Assessment AIAG^
requirements.

Question #
4.0 IN-PROCESS/FINAL TEST Production Setup or Coil Change -
FREQUENCIES Per Coil
(1st Piece Inspection)
D4.4 1.4 Induction pattern length 1 part at start-up, end of
2.15 production run, and every 4 hours
minimum, and 1 part pre and 1
part post tool change, equipment
repair, station alarm (shutdown,
malfunction, etc.)
D4.5 1.4 Total or Effective Case depth 1 part at start-up, end of

2.15 production run, and 1 part per 8
hours minimum, and 1 part pre
and 1 part post tool change,
equipment repair, station alarm
(shutdown, malfunction, etc.)
D4.6 1.4 Surface hardness 1 part at start-up, end of
malfunction, etc.)
D4.7 1.4 Core hardness (when specified) 1 part at start-up, end of
malfunction, etc.)
D4.8 1.4 Microstructure 1 part at start-up, and 1 part pre
2.15 and 1 part post tool change,
equipment repair, station alarm
(shutdown, malfunction, etc.)
60
CQI-9
AIAGC*
requirements.
— - indicate "not applicable".

Question #
5.0 QUENCHANT AND SOLUTION TEST
FREQUENCIES
Quench Media Controls If Applicable
D5.1 2.12 Polymer Quench Media
3.14 - Concentration Once per day
- Quenchability Check; e.g., cooling Monthly
curve, viscosity, or titration
D5.2 2.12 Water Quench Media
3.14 - Suspended solids Quarterly
D5.3 2.12 Brine or Caustic Quench Media
3.14 - Concentration and/or Specific Monthly
Gravity
- Suspended solids Quarterly
D5.4 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week
D5.5 2.11 Washers
- Concentration of cleaner Daily
- Temperature of solution (required if Each shift
temperature is specified to be above
ambient temperature).
61
CQI-9
Assessment AIAG^
PROCESS TABLE E - Annealing / Normalizing / Stress-Relieving
Ail requirements given below are subordinate to customer specific requirements.

1.0 PROCESS AND TEST EQUIPMENT REQUIREMENTS
E1.1 3.1 All furnaces, generators and quench systems (where Yes Yes Yes
3.7 applicable) shall have temperature indicating
instruments.
E1.2 3.1 Continuous strip charts and/or data loggers are required Yes Yes Yes
3.7 for temperature and carbon monitoring unit, e.g., dew
point, oxygen probe, IR gas analyzer, etc.
E1.3 3.2 Furnace weigh scales shall be verified quarterly and Yes Yes
E1.4 3.2 Dew pointers, 3-gas analyzers, spectrometers, and
carbon IR combustion analyzers (shim stock analysis),
used to verify carbon potential in furnaces, shall be
calibrated annually at a minimum. This is applicable
when used in controlling carbon-bearing atmospheres.
E1.5 3.2 Verification of calibration of spectrometers, and carbon

IR combustion analyzers, shall be checked daily or prior
to use. This is applicable when used in controlling
carbon-bearing atmospheres.
E1.6 3.2 Verification of calibration of 3-gas analyzers with zero

gas and span gas shall be performed weekly at a
minimum. This is applicable when used in controlling
E1.7 3.2 Oxygen probe controllers shall be calibrated quarterly at Yes Yes Yes
a minimum. This is applicable when used in controlling
E1.8 2.16 All hardness test equipment (for each scale used) shall
be calibrated semi-annually minimum, and verified daily
minimum per the applicable ASTM standard.
62
AlAGDfc
CQI-9

2.0 PYROMETRY
E2.1 3.2 Thermocouples and calibration of thermocouples shall Yes Yes Yes
E2.2 3.2 Instrument Calibration per AMS 2750D shall be quarterly Yes Yes Yes
3.3 at a minimum.
E2.3 3.2 CQI-9 requires a comparative check of the control Yes Yes Yes
3.3 temperature sensor (CTS) in the Qualified Work Zone to
a (1) calibrated test temperature sensor (CTTS) or, (2)
resident thermocouple (R-T/C).
(1) The CTS shall be +/- 5C (or +/-10F) of a CTTS at the

operating temperature range; this checked shall be
performed monthly.
(2) The relationship between the CTS and R-T/C at the

operating temperature range shall be within +/- 1C (or +/-
2F) of their relationship determined at the time of the
most recent temperature uniformity survey; this checked
shall be performed weekly.
Any actions to correct a failing reading or validate a test

result shall be documented.

Type K and N thermocouples shall be checked quarterly
for equipment operating below 760C (1400F) and
changed every two years at a minimum.
Type R and S thermocouples shall be checked monthly

for equipment operating at or above 760C (1400F) and
changed bi-annually every two years at a minimum.

63
CQI-9
Assessment AlAGCfc

E2.4 3.4 Temperature Uniformity Survey (TUS): refer to AMS Yes Yes - In Qualified Work
2750D for procedures. TUS frequency shall be annual Zone
and after major rebuild.
Temperature uniformity tolerance for hardening furnaces

shall be +/-14 C (or +/- 25 F). Temperature uniformity
tolerance for tempering furnaces shall be +/-11 C (or +/-
20 F).

tested per AMS 2750D. Exception: If the operating range
of the Qualified Work Zone is equal to or less than 85 C
(153 F) then only one temperature is required to be
tested. The temperature shall be within the operating
range of the Qualified Work Zone.
E2.5 3.5 Recorded temperature(s) shall be controlled within +/- Yes Yes - in Qualified Work
9C (or +/- 15F) of the set point as evidenced by Zone
continuous recording pyrometers. Furnace temperature
shall be controlled with soak times starting at the lower
tolerance limit (as defined above).
64
AIAGC*
CQl-9
Assessment

E3.1 1.4 Monitor primary temperature control instrument(s). Each batch or Each lot or continuous Each Shift
2.14 continuous recording recording with sign-off
requirement.
E3.2 1.4 Monitor generator atmospheres Continuous

2.14
3.7
E3.3 1.4 Monitor primary furnace atmosphere control(s)**. Continuous recording Continuous recording
2.14 with sign-off every 2 with sign-off every 2
3.7 hours. Alarm systems hours. Alarm systems
satisfy the sign-off satisfy the sign-off
requirement. requirement.
E3.4 1.4 Verify primary atmosphere control method by back-up Daily Daily Daily
2.14 method**.
3.7
E3.5 1.4 For salt baths: check salt chemistry (soluble oxides) in Daily Daily
2.14 salt baths or decarburization on the parts.
3.13
E3.6 1.4 Monitor time in furnace, cycle time or belt speed. Each batch Twice/shift & after any
2.14 change in the belt
speed.
E3.7 1.4 Monitor load size or fixturing or loading rate as Each batch Twice/shift & after any
2.7 applicable. change in loading rate.
E4.1 1.4 Microstructure (when specified) Daily per furnace Daily per furnace
2.15
E4.2 1.4 Surface hardness (when specified) Each batch Every 2 hours minimum
2.15
E4.3 1.4 Core hardness (when specified) Each batch Every 4 hours
2.15
5.0 SOLUTION TEST FREQUENCIES
E5.1 2.13 Rust Preventive - Soluble Oil
- Concentration 2x / week 2x / week
E5.2 2.11 Washers
- Concentration of cleaner Daily Daily
- Temperature of solution (required if temperature is Each shift Each shift

65
CQI-9 AIAG
Special Process: Heat Treat System Assessment * »■» »V^
66
CQ| 9
AlACV^t
* mU \kV^-^^W Special Process: Heat Treat System Assessment
-
GLOSSARY
See also SAE J415 for additional definitions of heat treating terms
AIAG: Automotive Industry Action Group
AMS: Aerospace Material Specifications
ASTM: American Society for Testing and Materials
CTS: Control Temperature Sensor
CTTS: Calibrated Test Temperature Sensor
Capability: The total range of inherent variation in a stable process.
Control Plans: Written descriptions of the system for controlling processes for production of parts or
bulk materials. Control Plans are written by organizations to address the important characteristics and
engineering requirements of the product. Each part must have a Control Plan, but in many cases,
"family" Control Plans can apply to a number of parts produced using a common process.
Critical Spare Parts List: A list of service parts critical for the operation of equipment. Extended delay
in obtaining spare parts would result in unacceptable delays in the heat treat operation.
Cross-Functional Team: A team of employees that represent the different functions within an
organization. The team will typically consist of an operator, line supervision, process engineer,
metallurgist, and quality personnel.
Customer: The recipient of the organization's or supplier's product or service.
Customer Requirements: This term refers to the requirements or specifications from the original
equipment manufacturer (typically the automobile company). These may be identified in the contract or
purchase order, in engineering standards, part specifications, etc.
Dew Pointer: A meter especially suited for measuring the dew point of carbon-bearing atmospheres.
Dew point is used to indirectly determine the carbon potential of the atmosphere.
Energy Monitor: An electronic monitor that measures and displays the actual energy delivered to the
induction heating coil.
Furnace Monitoring Systems: A system that monitors the operation of the furnace.
Heat Treater: An organization that performs heat treating (see 1.2 Application) to production and/or
service parts. The heat treating may be internal or "captive" to a manufacturing organization, or a
separate commercial heat treating supplier.
HTSA: Heat Treat System Assessment
IR: Infrared
Nonconforming Product: Product that does not conform to the customer requirements.
Oxidizing Burn-Out: A process to remove any residual ammonia from the furnace. The process usually
involves removing most of the carbon-bearing protective atmosphere and then introducing oxygen.
Oxygen Probe: An in-situ measuring probe that determines the partial pressure of oxygen in carbon-
bearing atmospheres. This measurement provides an indirect measurement for the carbon potential of the
atmosphere.
67
CQI-9 AIAG
Special Process: Heat Treat System Assessment ' ™* »w*
Process Tables: Tables in the HTSA that list the required process controls for the heat treat processes
covered. These tables contain minimum requirements.
Qualified Work Zone: The defined portion of a furnace volume where temperature variation conforms to
the required uniformity tolerance.
Quenchability Check: A measure of the cooling dynamics of the quench media. A quenchometer is the
inspection machine that displays the cooling curve of the quench media.
Quench Delay: The time delay between the end of the heat treat cycle and the start of the quench
operation. For furnace heat treating, this is period from the time the parts exit the furnace qualified work
zone to the time the parts are at the bottom of the quench tank. For induction hardening systems, this is
the time from the end of the heat cycle to the start of the quench flow (or when the parts enter a quench
tank).
Quenching Medium: The medium used to quench parts after heat treating, e.g., oil, water, polymer, and
salt.
R-T/C: Resident Thermocouple used for comparative check of the control temperature sensor (CTS).
Recipe: This term is typically used when a computer-based system sets and controls the process
parameters, e.g., temperature, cycle time, carbon potential. The 'recipe' refers to the settings of the
process parameters.
Reprocessing: Any process that is performed on nonconforming product so that it will meet the specified
requirements.
Responsibility Matrix: A responsibility matrix defines the designated personnel for all key functions.
This matrix includes the primary and secondaiy designees.
SAE International: Society of Automotive Engineers International
Shop Traveler: A document usually created in the receiving department for each batch or lot of parts
received. The document defines the process routing of the parts.
Signature Monitor: An electronic monitor used to monitor induction heat treating systems. The monitor
plots the energy unit, e.g., voltage or kilowatt, vs. time or distance.
Special Characteristics: are product characteristics or manufacturing process parameters which can
affect safety or compliance with regulations, fit, function, performance or subsequent processing of
product. Refer to customer-specific requirements.
Temperature Uniformity Survey: The measurement of the uniformity of temperature within the
qualified work zone of a furnace. Description of the method to be used is in AMS 2750D.
Temper Delay: The time delay from when the parts exit the quench tank to the time when the parts are
placed in the tempering furnace.
3 (Three) Gas Analyzer: An instrument that measures carbon monoxide, carbon dioxide, and methane in
carbon-bearing atmospheres. This measurement provides an indirect measurement of the carbon potential
of the atmosphere.
68
CQI-9
AIAGC*
Three-Valve Fail-Safe Vent (for ammonia lines): An arrangement of three valves that prevents ammonia
from inadvertently entering the furnace during carburizing or neutral hardening operations. The valves
are arranged in such a way that, when the ammonia line to the furnace is shut off, any ammonia that might
leak past the valve is vented to the atmosphere and thus prevented from entering the furnace. See the
diagrams below.
Vent Vent
Valve 3 Valve 3
Close Open
Valve 1 Valve 2 Valve 1 Valve 2

Open Open Close Close
Figure 1 - Valves 1 and 2 are Figure 2 - Valves 1 and 2 are closed

opened to allow ammonia flow to prevent ammonia flow to furnace.
into the furnace. If Valve 2 inadvertently leaks,
ammonia is vented (Valve 3) to the
atmosphere.
Trap Points: Areas in containers (baskets, fixtures, shipping boxes, etc.) or equipment that may
inadvertently trap parts, allowing the potential for parts to be mixed between batches.
Work Instructions: Instmctions that describe work conducted in one function in a company, e.g., setup,
inspection, heat treat operation, process parameter tolerances, etc. The term "work instructions" is
synonymous with the term "job instructions."
69
CQI-9
Assessment AIAG^*
MAINTENANCE REQUEST FORM

Name of Submitter: Date:
Company:
Company Address:
Phone: Fax: E-mail:
MAINTENANCE REQUEST
Page Number of Change:
Document Currently Reads:
Recommended Changes/Should Read:
Reason for Change (Use additional sheets if necessary):
Signature of Submitter:
DISPOSITION (AIAG USE ONLY)
Manager's Recommendation:
Final Disposition:
Comments:
Note: Completeiforrn and return to the AIAG Publication Specialist for consideration.
Automotive Industry Action Group • 26200 Lahser Road • Suite 200 • Southfield, Ml 48034
Telephone: (248) 358-3570 • Fax: (248) 358-3253
Web: www.aiag.org
70

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BR_ENTWICKLUNGSKUERZEL_KUNDE Entwicklungskürzel Kunde ?????

TECHDOK_AUSGABEDATUM Ausgabedatum 01.08.2007

TECHDOK_BROFIS_ZUGRIFF Transfer BROFIS Nur intern - Kein Transfer

TECHDOK_COPYRIGHT Nutzungsrecht U_7

TECHDOK_HERAUSGEBER_INSTITUT Herausgeber Institut

TECHDOK_NUMMER Nummer AIAG CQI-9

TECHDOK_SPRACHE Sprache Englisch

AIAG COPYRIGHT AND TRADEMARK NOTICE:

© 2007 Automotive Industry Action Group

2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE 10

3 SPECIAL PROCESS: HEAT TREAT SYSTEM ASSMENT PROCEDURE 11

INSTRUCTIONS FOR COMPLETING THE JOB AUDIT ......37

APPENDIX A - PROCESS TABLES 42

Heat Treat System Assessment Goals

These Process Tables contain requirements for:

Standard Ntimlier Standard's Prganizatipn

2 THE HEAT TREAT SYSTEM ASSESSMENT PROCEDURE

3 SPECIAL PROCESS: HEAT TREAT ASSESSMENT

Instructions for completing the Cover Sheet

Special Process: Heat Treat System Assessment

Phone Number: Type(s) of Thermal Processing at this Facility:

Date of Previous Assessment:

Process Table C - Aluminum

Process Table D - Ferrous

Current Quality Certification(s):

Date of Re-assessment (if necessary):

Number of "Not Satisfactory" Findings:

Number of "Needs Immediate Action" Findings:

Number of "Fail" Findings in the Job Audit(s):

Instructions for completing Sections 1 - 3

General Notes for AMS 2750D

- Section 3.5.5- Initial TUS

Is there a dedicated and

The organization shall incorporate the use of a

Question Not Needs Immediate

The organization shall incorporate the use of a

The heat treater shall have written process

Question Not Needs Immediate

To demonstrate each process is capable of

The quality management system shall include a

The quality management system shall include a

Question Not Needs immediate

The heat treater shall define a process for

Does the Quality Manager or

There shall be procedures or work instructions CD

Are there procedures or work

The organization shall maintain a responsibility °?>

Has the Heat Treater

Question Not Needs Immediate

Section 2 ­ Floor and Material Handling Responsibility

Procedures for part and container identification 55"

Question Not Needs Immediate

The control of suspect or non­conforming product

Are procedures adequate to adequate to prevent movement of non­conforming

Containers handling customer product shall be free

Question Not Needs Immediate

Furnace loading parameters shall be specified,

Unplanned or emergency downtime greatly raises

Plant cleanliness, housekeeping, environmental, a:

Question Not Needs Immed iate

The quenching system shall be monitored,

Parts are often dipped in or sprayed with rust

Question Not Needs Immediate

Section 2 Floor and Material Handling Responsibility

The control of suspect or nonconforming product

Are procedures adequate to adequate to prevent movement of nonconforming

APPENDIX A PROCESS TABLES